YS
Yancy D. Spivey
CETERA INVESTMENT ADVISERS LLC
DUNCAN, OK 73533
Some features on this profile are disabled
CRD#: 5434377
YS
Professional summary
Yancy Dwayne Spivey, who also goes by Yancy Dwayne Spivey, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duncan, Oklahoma and CETERA WEALTH SERVICES, LLC located in Duncan, Oklahoma.
Yancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Yancy has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yancy Dwayne Spivey
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: SIMMONS CENTER WELLNESS CENTER INVESTMENT RELATED: NO ADDRESS: 800 CHISOLM TRAIL PKWY, DUNCAN, OK 73533 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 2/2022 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BUDGET OVERSIGHT AND COMMUNICATION WITH OFFICIAL INVESTMENT ADVISOR OF TRUST ACCOUNTS; 2. NAME OF OTHER BUSINESS: SPIVEY REAL ESTATE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 5/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL PROPERTIES MANAGEMENT; 3. NAME OF OTHER BUSINESS: YS ASSET MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL PRACTICE OWNERSHIP START DATE: 8/2017 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 50 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PRACTICE MANAGMENT; 4. NAME OF OTHER BUSINESS: MP3 AVIATION INVESTMENT RELATED: NO ADDRESS: PO BOX 266, DUNCAN, OK 73534 NATURE OF BUSINESS: AIRCRAFT OWNERSHIP START DATE: 10/2016 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER LLC APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PERSONAL OWNER OF AIRCRAFT; 5. NAME OF OTHER BUSINESS: YS INTEGRATION LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ANCILLARY PURPOSE TO YS ASSET MANAGEMENT AS A CONSULTANT TO NON-INVESTMENT CLIENT 3RD PARTY ADMINISTRATORS START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER LLC APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: VEHICLE SERVICE CONTRACTING IMPLEMENTATION INTON NON-INVESTMENT CLIENT AUTO DEALERSHIPS; 6. NAME OF OTHER BUSINESS: EAST CENTRAL UNIVERSITY INVESTMENT RELATED: NO ADDRESS: 1100 EAST 14TH, ADA, OK 74820 NATURE OF BUSINESS: BOARD SUPPORT TO EAST CENTRAL UNIVERSITY START DATE: 9/2011 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER; 7. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2022 APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE; 8. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 9. NAME OF OTHER BUSINESS: ATARAXIA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT START DATE: 1/2021 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT; 10. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 12/2019; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;
CRS (Client Relationship Summary) - RIA
Click below to view Yancy Dwayne Spivey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 728 W Main St, Duncan, OK 73533RIA
CRD#: 105644
DUNCAN, OK
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 728 W Main St, Duncan, OK 73533BD
CRD#: 13572
Duncan, OK
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 18, 2018 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
DUNCAN, OK
Past
October 18, 2018 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
DUNCAN, OK
Past
July 28, 2017 - November 15, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
DUNCAN, OK
Past
July 28, 2017 - November 15, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
DUNCAN, OK
Past
August 3, 2012 - August 1, 2017
EDWARD JONES
RIA
CRD#: 250
DUNCAN, OK
Past
July 23, 2012 - August 1, 2017
EDWARD JONES
BD
CRD#: 250
DUNCAN, OK
Past
February 7, 2008 - April 16, 2012
ARVEST WEALTH MANAGEMENT
RIA
CRD#: 42057
ADA, OK
Past
November 21, 2007 - April 16, 2012
ARVEST WEALTH MANAGEMENT
BD
CRD#: 42057
ADA, OK
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/20/2022)
RR
Arizona(4/20/2022)
RR
Arkansas(4/20/2022)
RR
California(4/20/2022)
RR
Colorado(4/20/2022)
RR
Connecticut(9/28/2022)
RR
Florida(4/22/2022)
RR
Georgia(4/20/2022)
RR
Idaho(4/20/2022)
RR
Illinois(4/20/2022)
RR
Indiana(4/29/2024)
RR
Iowa(4/20/2022)
RR
Kansas(6/20/2024)
RR
Kentucky(3/29/2023)
RR
Louisiana(1/10/2024)
RR
Maine(10/18/2024)
RR
Maryland(4/20/2022)
RR
Massachusetts(1/31/2025)
RR
Michigan(4/17/2024)
RR
Minnesota(4/20/2022)
RR
Mississippi(4/20/2022)
RR
Missouri(4/20/2022)
RR
Montana(4/20/2022)
RR
Nebraska(4/20/2022)
RR
Nevada(1/3/2025)
RR
New Hampshire(4/20/2022)
RR
New Jersey(4/20/2022)
RR
New Mexico(4/20/2022)
RR
New York(4/20/2022)
RR
North Carolina(4/20/2022)
RR
North Dakota(4/20/2022)
RR
Ohio(4/20/2022)
RR
Oklahoma(4/20/2022)
IAR
Oklahoma(6/29/2023)
RR
Pennsylvania(4/20/2022)
RR
Rhode Island(11/12/2024)
RR
South Carolina(11/5/2024)
RR
South Dakota(4/20/2022)
RR
Tennessee(4/18/2023)
RR
Texas(4/20/2022)
IAR
Texas(6/29/2023)
RR
Utah(4/20/2022)
RR
Vermont(10/21/2024)
RR
Virginia(2/28/2025)
RR
Washington(3/23/2023)
RR
Wisconsin(4/20/2022)
RR
Wyoming(5/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
